Yiu Wai Lau
劉耀威
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yiu Wai Lau (劉耀威), a licensed Responsible Officer with CE reference ACI099. Currently licensed at 1 firm(s): Ivy Pro Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 40.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ivy Pro Limited |
RO | Type 1 — Dealing in securities | 2024-08-23 | present |
| Ivy Pro Limited |
RO | Type 4 — Advising on securities | 2024-08-23 | present |
| Ivy Pro Limited |
RO | Type 9 — Asset management | 2024-08-23 | present |
| Nexus Asset Management Limited 港匯資本有限公司 |
Rep | Type 4 — Advising on securities | 2023-10-27 | 2024-02-29 |
| Nexus Asset Management Limited 港匯資本有限公司 |
Rep | Type 9 — Asset management | 2023-10-27 | 2024-02-29 |
| Motto Global Asset Management Limited 銘基環球資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-02-03 | 2023-06-05 |
| Motto Global Asset Management Limited 銘基環球資產管理有限公司 |
RO | Type 9 — Asset management | 2019-02-26 | 2023-06-05 |
| Kaiser Securities Limited 嘉信証券有限公司 |
RO | Type 1 — Dealing in securities | 2017-06-26 | 2018-04-09 |
| Kaiser Capital Management Limited 嘉信資本管理有限公司 |
RO | Type 4 — Advising on securities | 2017-03-09 | 2018-04-09 |
| Kaiser Capital Management Limited 嘉信資本管理有限公司 |
RO | Type 9 — Asset management | 2017-03-09 | 2018-04-09 |
| China Hong Kong Capital Asset Management Company Limited 中港金融資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2016-08-24 | 2016-10-06 |
| China Hong Kong Capital Asset Management Company Limited 中港金融資產管理有限公司 |
RO | Type 9 — Asset management | 2016-08-24 | 2016-10-06 |
| China Hong Kong Capital Asset Management Company Limited 中港金融資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2016-08-18 | 2016-08-24 |
| China Hong Kong Capital Asset Management Company Limited 中港金融資產管理有限公司 |
Rep | Type 9 — Asset management | 2016-08-18 | 2016-08-24 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-06-23 | 2016-08-15 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
RO | Type 4 — Advising on securities | 2016-06-23 | 2016-08-15 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
RO | Type 9 — Asset management | 2016-06-23 | 2016-08-15 |
| Superactive Financial Group Company Limited 先機金融集團有限公司 |
RO | Type 4 — Advising on securities | 2015-06-12 | 2016-06-22 |
| Superactive Financial Group Company Limited 先機金融集團有限公司 |
RO | Type 5 — Advising on futures contracts | 2015-06-12 | 2016-06-22 |
| Superactive Financial Group Company Limited 先機金融集團有限公司 |
RO | Type 9 — Asset management | 2015-06-12 | 2016-06-22 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2014-07-18 | 2015-06-05 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 4 — Advising on securities | 2014-07-18 | 2015-06-05 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2012-11-23 | 2014-07-18 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2012-11-23 | 2014-07-18 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 9 — Asset management | 2012-11-23 | 2015-06-05 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
RO | Type 9 — Asset management | 2012-07-25 | 2015-06-05 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-04 | 2015-06-05 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-07-04 | 2015-06-05 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2012-07-04 | 2012-07-25 |
| Haitong International Asset Management (HK) Limited 海通國際資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2010-03-19 | 2012-03-01 |
| Haitong International Asset Management (HK) Limited 海通國際資產管理(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2010-03-19 | 2012-03-01 |
| Haitong International Asset Management (HK) Limited 海通國際資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2010-03-19 | 2012-03-01 |
| Haitong International Investment Managers Limited 海通國際投資經理有限公司 |
RO | Type 1 — Dealing in securities | 2009-02-26 | 2012-03-01 |
| Haitong International Investment Managers Limited 海通國際投資經理有限公司 |
RO | Type 4 — Advising on securities | 2007-03-16 | 2012-03-01 |
| Haitong International Investment Managers Limited 海通國際投資經理有限公司 |
RO | Type 9 — Asset management | 2007-03-16 | 2012-03-01 |
| CMS Capital (HK) Co., Limited 招商資本(香港)有限公司 |
RO | Type 4 — Advising on securities | 2004-05-06 | 2010-01-08 |
| CMS Capital (HK) Co., Limited 招商資本(香港)有限公司 |
RO | Type 9 — Asset management | 2004-05-06 | 2010-01-08 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
RO | Type 4 — Advising on securities | present | 2012-03-01 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2012-03-01 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
RO | Type 9 — Asset management | present | 2012-03-01 |